RTW INVESTMENTS, LP - 19 Sep 2025 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
Director, Other*, 10%+ Owner
Signature
RTW Investments, LP, By /s/ Roderick Wong, M.D., Managing Partner
Issuer symbol
RCKT
Transactions as of
19 Sep 2025
Net transactions value
+$38,450,516
Form type
4
Filing time
23 Sep 2025, 16:21:23 UTC
Previous filing
06 Aug 2025
Next filing
07 Nov 2025
SEC
View on sec.gov

Reporting Owners (2)

Name Relationship Address Signature Signature date CIK
RTW INVESTMENTS, LP Director, Other*, 10%+ Owner 40 10TH AVENUE, FLOOR 7, NEW YORK RTW Investments, LP, By /s/ Roderick Wong, M.D., Managing Partner 23 Sep 2025 0001493215
WONG RODERICK Director, Other*, 10%+ Owner C/O RTW INVESTMENTS, LP, 40 10TH AVENUE, FLOOR 7, NEW YORK Roderick Wong, By /s/ Roderick Wong, M.D. 23 Sep 2025 0001493280

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Exercise of in-the-money or at-the-money derivative security $40,032,400 +1,000,000 +5.5% $40.03 19,188,457 19 Sep 2025 See footnote F1, F2
transaction RCKT Common Stock Other $3,105,000 -1,000,000 -5.2% $3.10 18,188,457 19 Sep 2025 See footnote F1, F2
transaction RCKT Common Stock Exercise of in-the-money or at-the-money derivative security $782,756 +41,000 +0.23% $19.09 18,229,457 19 Sep 2025 See footnote F2, F3
transaction RCKT Common Stock Other $127,305 -41,000 -0.22% $3.10 18,188,457 19 Sep 2025 See footnote F2, F3
transaction RCKT Common Stock Exercise of in-the-money or at-the-money derivative security $1,050,861 +59,000 +0.32% $17.81 18,247,457 19 Sep 2025 See footnote F2, F4
transaction RCKT Common Stock Other $183,195 -59,000 -0.32% $3.10 18,188,457 19 Sep 2025 See footnote F2, F4
holding RCKT Common Stock 47,667 19 Sep 2025 Direct F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RCKT Equity Swap (obligation to buy) Exercise of in-the-money or at-the-money derivative security -1 -100% 0 19 Sep 2025 Common Stock 1,000,000 $40.03 See footnote F1, F2
transaction RCKT Equity Swap (obligation to buy) Exercise of in-the-money or at-the-money derivative security -1 -100% 0 19 Sep 2025 Common Stock 41,000 $19.09 See footnote F2, F3
transaction RCKT Equity Swap (obligation to buy) Exercise of in-the-money or at-the-money derivative security -1 -100% 0 19 Sep 2025 Common Stock 59,000 $17.81 See footnote F2, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd. previously reported on the Forms 4 filed by the Reporting Persons on May 13, 2021 and April 5, 2023, expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
F2 This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to the securities held by certain investment funds managed by the Adviser (the "RTW Funds") and (ii) Roderick Wong, M.D. ("Dr. Wong"), who serves as the Managing Partner and Chief Investment Officer of the Adviser and who is a director of the Issuer and Chairman of the Issuer's Board of Directors.
F3 On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 22, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
F4 On September 19, 2025, the equity swap entered into by RTW Innovation Master Fund, Ltd previously reported on the Form 4 filed by the Reporting Persons on December 23, 2022 expired and settled in accordance with its terms. After the transaction reported herein, the amount of Common Stock of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.
F5 Represents restricted stock units ("RSUs") held by Dr. Wong that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2026.

Remarks:

The Adviser may be deemed to be a director by deputization for purposes of Section 16 under the Securities Exchange Act of 1934 by virtue of the fact that each of Dr. Wong, Gotham Makker, who serves as a Partner and Head of Strategic Investments of the Adviser, and Piratip Pratumsuwan, who serves as Managing Director, Research Analyst of the Adviser, currently serves on the board of directors of the Issuer. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.